Filing Details
- Accession Number:
- 0001209191-21-021528
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-03-17 18:36:26
- Reporting Period:
- 2021-03-15
- Accepted Time:
- 2021-03-17 18:36:26
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1000694 | Novavax Inc | NVAX | Biological Products, (No Disgnostic Substances) (2836) | 222816046 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1191410 | C Gary Evans | C/O Novavax, Inc. 21 Firstfield Road Gaithersburg MD 20878 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2021-03-15 | 2,000 | $99.80 | 18,099 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-03-15 | 4,500 | $46.00 | 22,599 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-03-15 | 18,000 | $3.99 | 40,599 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-03-15 | 9,732 | $210.00 | 30,867 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-03-15 | 14,768 | $212.00 | 16,099 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2021-03-15 | 2,000 | $0.00 | 2,000 | $99.80 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2021-03-15 | 4,500 | $0.00 | 4,500 | $46.00 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2021-03-15 | 18,000 | $0.00 | 18,000 | $3.99 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2016-09-15 | 2026-03-15 | No | 4 | M | Direct |
| 0 | 2019-12-13 | 2028-12-13 | No | 4 | M | Direct |
| 0 | 2020-12-12 | 2029-12-12 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 625 | Indirect | By Evans 1997 Trust |
Footnotes
- The reporting person indirectly beneficially owns 625 shares held by the Evans 1997 Trust.
- One hundred percent (100%) of the shares subject to this option grant under the Novavax, Inc. Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan") vested six (6) months from the March 15, 2016 grant date.
- One hundred percent (100%) of the shares subject to this option grant under the Plan vested one (1) year from the December 13, 2018 grant date.
- One hundred percent (100%) of the shares subject to this option grant under the Plan vested one (1) year from the December 12, 2019 grant date.
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